SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; CBOE BZX EXCHANGE, INC.; NOTICE OF FILING OF A PROPOSED RULE CHANGE TO AMEND EXCHANGE RULE 11.23(D)(2)(B) (EXTENDING THE QUOTE-ONLY PERIOD FOR INITIAL PUBLIC OFFERING ("IPO") AUCTIONS)

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Exchan... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; CBOE EXCHANGE, INC.; ORDER INSTITUTING PROCEEDINGS TO DETERMINE WHETHER TO APPROVE OR DISAPPROVE A PROPOSED RULE CHANGE TO AMEND EXCHANGE RULE 5.4

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve ... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND FINRA RULE 6830 (INDUSTRY MEMBER DATA REPORTING) REGARDING THE BONA FIDE MARKET MAKING EXCEPTION UNDER SEC REGULATION SHO

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effec... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ ISE, LLC; NOTICE OF FILING OF AMENDMENT NO. 1 AND ORDER INSTITUTING PROCEEDINGS TO DETERMINE WHETHER TO APPROVE OR DISAPPROVE A PROPOSED RULE CHANGE, AS MODIFIED BY AMENDMENT NO. 1, REGARDING THE ADOPTION OF LISTING CRITERIA FOR OPTIONS ON A COMMODITY-BASED TRUST THAT HOLDS MULTIPLE CRYPTO ASSETS

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedi... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; THE OPTIONS CLEARING CORPORATION; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE BY THE OPTIONS CLEARING CORPORATION CONCERNING A CHANGE IN THE MAXIMUM CONTINGENT OPERATIONAL LOSS FEE LISTED IN OCC'S SCHEDULE OF FEES IN ACCORDANCE WITH OCC'S CAPITAL MANAGEMENT POLICY

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of P... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; MEMX LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND RULE 4.7 OF THE EXCHANGE'S CAT COMPLIANCE RULE

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: JOINT INDUSTRY PLAN; NOTICE OF FILING OF THE SECOND AMENDMENT TO THE LIMITED LIABILITY COMPANY AGREEMENT OF CT PLAN LLC TO ADOPT A FEE SCHEDULE

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Joint Industry Plan; Notice of Filing of the Second Amendment to the Limited Liability Company Agreement of CT Pla... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: RBC BLUEBAY ENHANCED INCOME FUND AND RBC GLOBAL ASSET MANAGEMENT (U.S.) INC.

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: RBC BlueBay Enhanced Income Fund and RBC Global Asset Management (U.S.) Inc. The notice was published in the Fede... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; PROPOSED COLLECTION; COMMENT REQUEST; EXTENSION: REGULATION SBSR

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation SBSR. The n... Read More

SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; BOSTON STOCK EXCHANGE CLEARING CORPORATION; STOCK CLEARING CORPORATION OF PHILADELPHIA; NOTICE OF FILING OF AMENDMENT NO. 1 AND ORDER GRANTING ACCELERATED APPROVAL OF PROPOSED RULE CHANGE, AS MODIFIED BY AMENDMENT NO. 1, BY BOSTON STOCK EXCHANGE CLEARING CORPORATION AND STOCK CLEARING CORPORATION OF PHILADELPHIA TO AMEND THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION AND BY-LAWS OF PARENT CORPORATION, NASDAQ, INC.

WASHINGTON, Dec. 31 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Stock Clearing Corporation of Philadelp... Read More

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